Financial Supervision Principal & Client Relationship Manager

Top Tier Broker-Dealer/ RIA is seeking a Sales Supervisory Relationship Manager to join their team!

Responsibilities

• Provide insight by building meaningful relationships with financial professionals


• Provide and approve investment transactions


• Resolve escalated issues


• Manage relationship between financial professionals, the Broker-Dealer and RIA Home Office


• Recognize opportunities to optimize and improve Financial Professional's day to day business.

Qualifications

• Past experience working for a Securities Broker Dealer and/or Registered Investment Adviser


• Series 7, 24 (or 9/10), and Series 65 or 66


• Candidates must possess an ability to interpret and apply Client and SEC regulation and recommend firm best practices to F...